INS on Naturalization Quality Procedures

Memorandum

HQ 70/33(P)

Subject: Naturalization Quality Procedures

Date: November 29, 1996

To: Regional Directors
District Directors
Officers in Charge
Service Center Directors

From: Office of the Commissioner

This memorandum provides instructions for naturalization quality procedures which will enhance and monitor the quality of the present process. It covers seven key enhancements: 1) consistent, complete processing achieved through work sheets for each file; 2) fingerprint check integrity; 3) enhanced supervisory review, 4) instructions regarding temporary file (T-file) use; 5) the implementation of a standardized quality assurance program; 6) guidance regarding revocation proceedings; and 7) requirements for increased monitoring of outside entity English and Civics test sites. These instructions are to be implemented immediately. These procedures apply strictly to naturalization processing; guidance relating to other Adjudications processing will be developed and disseminated separately.

Many offices already conduct informal quality checks on aspects of the naturalization process. Although these individual checks have upheld the quality of local naturalization programs, there has been no Service-wide standardized structure to insure the integrity of naturalization procedures. This memorandum sets forth a structured, standard approach to ensure that consistency and quality processing are in place in all offices. Additionally, it summarizes the measures which are being implemented to ensure that all record checks have been completed prior to adjudication of cases. Taken together, these measures will strengthen the entire process.

Effective immediately no further interviews or oath ceremonies will be scheduled until this memorandum has been read, training has been conducted in these procedures, either locally or from Headquarters, and all procedures are in place and working. Further instructions are contained in the "Transition Period" section of this memo.

Work Process

To begin, we must standardize our naturalization work processes. To that end, the Office of Naturalization has developed a work processing sheet (see Attachment I, "N-400 Processing Work Sheet"). One of these new work sheets must be utilized for all N-400 applications processed on or after December 02, 1996. The work sheet must be completed and initialed by the district office clerks (for clerical processing) and officers (for adjudicative processing) at each point in case processing, from receipt to completion. Accurate, complete, and up-to-date work sheets are a mandatory requirement for all cases, and you will need to ensure that your clerks and officers update them at the time cases are acted upon. The work sheets must be stapled to the right hand side of the A-file.

For direct-mailed cases whose initial processing is conducted at a service center, the work sheet must be completed and initialed by the service center clerk and stapled to the right hand side of the A-file before the case is routed to the district office for adjudication. Upon arrival at the district office, subsequent processing must be noted and initialed on the work sheet by the district office clerk/officer.

In addition to completing the work sheet, interviewing officers should continue to mark and annotate the N-400 application in red ink next to the question as it is asked, annotating all pertinent information developed during the interview. The N-400 must, of course, be maintained in the record as evidence of the results of the interview, and for any future adjudicative action that may be necessary.

Fingerprint Check Integrity

Effective immediately, no cases are to be scheduled for interview or oath ceremony until a definitive response has been received from the Federal Bureau of Investigations (FBI) (either through the receipt of a negative "NON-IDENT" response or a positive "IDENT;" in the case of an "IDENT" response the charge(s) must be resolved and approved by a supervisor before the case can be scheduled). The Office of Information Resources Management (OIRM) is currently working on several procedures to assist us in ensuring that all cases have cleared FBI processing, and that officers have sufficient information to accurately adjudicate applications.

A. The FBI "Aging Report"

The first measure consists of creating an aging report of cases still pending at the FBI after 90 days. FBI data has been compared by OIRM electronically against the cases scheduled for oath ceremony in Naturalization Casework System (NACS), and a report compiled by case control office indicating which cases scheduled for oath ceremony are still being processed by the FBI. This weekly report was first sent to each case control office in mid-November so that these cases could be pulled from oath ceremonies and held in suspense pending a response from the FBI.

Non-NAGS offices and offices which do not schedule oath ceremonies through NACS have to compare a list of cases scheduled for oath ceremony against the weekly aging report, and remove these cases from the oath ceremony.

For all offices, this procedure should only be necessary until the second, more comprehensive set of procedures is in place. On November 21, 1996 a memorandum regarding the use of Aging Reports produced by the FBI was forwarded to all offices (Attachment 2).

B. Automated FBI status report

The second measure, which will replace use of the aging report, will provide weekly reports from the FBI showing all cases processed or pending. This includes positive (IDENT) and negative (NON-IDENT) responses, cases rejected by the FBI as unclassifiable and cases in process. This will be accessible by computer terminal. Cases will be retrievable by A number, name, or ORI code. If there is no match by A number, the field office will be responsible for conducting further research to correctly identify the case. Instructions from OIRM stating how to access this system are attached (Attachment 3).

A copy of the rap sheet will be sent to the appropriate field office on all IDENT cases. For NACS users, on all IDENT cases, it will be the responsibility of the field office to release the case for interview scheduling. All NON-IDENT cases will be released for scheduling automatically. However, cases that are not clearly identifiable as NON-IDENT must be researched by the field office to properly identify the case prior to being released for scheduling. NACS will log the user ID, date and time of all cases manually released for scheduling. This system will also generate a seven-digit code next to the A number and name. For each N-400, this seven-digit code will be transcribed to the N-400 Processing Work Sheet (Attachment 1) in the block "Finger print check auth. # ___completed." For each N-400, the person completing this action will initial and date the form.

C. "Hold" time in CLAIMS/LAN increased

This procedure will be in effect until the FBI status report is operational. For offices with direct mail, the 60 day fingerprint "clock" in CLAIMS/LAN has been increased to 100 days. This will prevent the majority of N-400s from falling into the scheduler before a result is back from the FBI and in the system. It is preferable to have the results at the time of the interview, rather than having to go back to check all the cases pending oath ceremony to see if any have been cleared. The "hold" time is set at 100 days because current FBI data indicates that they clear 95 percent of the FD-258s in 90 days. We are allowing some time for FBI processing, such as receiving, data entry, and mailing and we usually schedule interviews two weeks in advance. This step reduces the possibility that cases will be scheduled for interview before FBI processing is completed.

The other measures discussed in this memo will prevent the naturalization of those for whom FBI checks have not been completed; this measure contributes to better district office processing in several ways. First, by increasing the likelihood that FBI responses are available at time of interview, the district will have better information on which to conduct interviews and resolve issues in the record. Second, this measure will serve as a checkpoint, allowing more responses to reach the file at service centers, thereby reducing the risk that a positive response (IDENT) will be sent to an office other than the one doing the interview. The 60 day "clock" meant that interviews sometimes occurred without the response from the FBI, thereby cutting off avenues of inquiry that the officer would otherwise have pursued, and causing re-work in the form of second interviews to resolve undisclosed arrests or convictions. Finally, the need to hold cases at the districts until clearances have been received will be reduced, alleviating the storage burden on facilities already operating at maximum capacity.

There will be a delay in processing time as this change is implemented. Use your officer time to adjudicate denials and continued cases, and to implement the quality procedures outlined in this memorandum, including quality assurance, 90 day aging reports, and reviews of the FBI status reports generated from OIRM.

D. FD-258 quality review prior to submission to FBI

To ensure cases are clearly identifiable upon return from the FBI, it is imperative that accurate data is submitted to the FBI. Approximately 25 percent of the cases submitted to the FBI are not identifiable when returned to us. Uniformity in the data submitted to the FBI is essential in order to facilitate updating our data upon receipt of the weekly reports from the FBI. All information on the FD-258s should be compared to the information on the application to verify that names, dates of birth, and A numbers are accurate prior to submission to the FBI. The name on the FD-258 should exactly match the name on the application. All A numbers must be nine digits plus the letter "A." If not the full nine digits, zeros need to be added after the "A" i.e., A001234567. The complete A number must be placed in the OCA block on the FD-258. Attachments 4 and 5 are samples of correct A numbers on FD-258s. In the remarks block, the notation N 400 should be indicated. There should not be any other notation in the remarks block, such as "natz" or "naturalization."

Supervisory Review

In addition to standard work processes, an integral part of any quality control program is supervisory review. All Records and Adjudications supervisors are required to review and be familiar with the work performed by subordinates, and to work with subordinates to improve the quality and quantity of work produced. These supervisory practices should continue as before. These requirements are articulated in position descriptions, supervisory training, and performance work plans. Please reiterate to your supervisors their continuing responsibility.

An enhanced supervisory review conducted by a Supervisory District Adjudications Officer (SDAO) or by an acting SDAO appointed from the ranks of journeyman officers with excellent technical skills and significant experience in naturalization processing will be implemented for the more difficult cases. If the review is conducted by an acting SDAO, the appointment of the officer to the supervisory position for the purpose of the review must be documented by memorandum. Effective immediately, the following cases must be submitted to an SDAO or acting SDAO for review and concurrence prior to being approved: (1) applicants with criminal histories (other than minor immigration violations such as Entry Without Inspection) or those with other serious issues involving determinations of good moral character; (2) applicants with complex cases involving other statutory eligibility determinations (for example, cases requiring detailed question and answer statements, or cases requiring substantially more than a routine interview); and (3) applicants whose application is adjudicated on a Temporary file (T-file), in accordance with the instructions in the following section.

Temporary Files

The use of T-files in naturalization proceedings is a long-standing Service practice. T-files may be used when a "diligent search" has not produced an applicant's A-file. Effective immediately, naturalization applications may be approved on a T-file only with supervisory authorization, and only when all of the following conditions have been met:

1. Diligent efforts have been made to locate and retrieve the A-file, consisting of at least three documented attempts, each at least 20 working days apart. These three attempts shall be documented on the case work sheet.

2. The applicant's lawful admission to the United States, requisite time of residence, and lack of disqualifying information in INS databases has been verified through the INS' central database (CIS). This shall be documented by including the CIS print out in the file.

3. The following questions shall be asked of the applicant and the responses verified through INS data checks, where possible:

A. Are you currently in removal proceedings?

B. Are you currently under a removal order?

C. Have you abandoned your residence or has the INS ever taken any action to terminate your residence status?

D. Other appropriate questions for probing good moral character, such as payment of child support and alimony, satisfaction of tax liability, etc.

4. All fingerprint clearance procedures have been followed.

Acknowledgment of A-File Receipt in NACS

The receipt of the A-file is not to be acknowledged in NACS at the time of data entry unless the file actually has been received. The fact that the file has not been acknowledged does not prevent the case from being scheduled for interview in NACS. The file should only be acknowledged when actually received. If the case is being adjudicated on a temporary file, you must acknowledge receipt of a "T" file in NACS. Under no circumstances is an application to be adjudicated without an A-file or a T-file created according to the instructions in the "Temporary Files" section of this memorandum.

Quality Assurance Review

The Service is taking immediate steps to strengthen quality control and quality assurance procedures for the naturalization program. For work performed in Fiscal Year 96 (FY96), the Department of Justice (DOJ) and INS have hired KPMG Peat Marwick, LLP, an independent consulting firm, to validate the case review project to be conducted at the Nebraska Service Center. We will continue this work when the independent consulting firm has reviewed our plans and procedures. DOJ and INS expect to have the outside review process underway in December.

On November 21, you received instructions regarding the temporary suspension of file movement (Attachment 6) until our plans and procedures have been reviewed by KPMG.

A new quality assurance program for naturalization cases is being implemented effective immediately. Quality assurance reviews will be conducted monthly until a permanent quality assurance program is developed and validated under the direction of the Headquarters Office of Programs. This interim program is designed to ensure the quality and integrity of the naturalization process within each office. It is a review of procedures and eligibility determinations, and is not intended to second-guess decisions made on every case.

This quality assurance program does not replace supervisory responsibility to monitor and correct subordinates' performance. However, as discussed below, if deficiencies in individual cases are discovered, appropriate action must be taken.

The quality assurance program will be conducted at every site processing N-400 applications, including satellite and sub-offices, and will encompass several stages of application processing, including clerical preparation and eligibility determination. This interim program is designed to meet immediate concerns regarding naturalization processing, and will assist each office in identifying processes that require attention and improvement. The check list (Attachment 7, "N~00 Quality Assurance Check List") is to be utilized with this interim process. When the Office of Programs finalizes a permanent quality assurance program, the check list may be redesigned.

Reviews under the quality assurance program will be conducted by an officer or supervisor not directly responsible for processing naturalization cases. In offices with limited staff, it may be necessary to draw on staff outside the Adjudications Program. Please take all necessary steps to ensure that someone with sufficient Adjudications experience is designated to conduct the reviews. Files will be selected at random. A description of the random process and the number of cases to be reviewed monthly is included at the end of this memo as Attachment 8 "Guidelines for N400 Random Sampling." Reviewed cases will be drawn from N400s in four stages: those that have been clerically processed; those that have been continued; those that have been granted and are pending oath; and those that have been denied. To ensure a diversified selection of cases from each office, files should not be selected solely from one individual employee. It is recommended that a sample copy of the check list be given to all employees who process naturalization applications to heighten their awareness of the Service's commitment to high quality work, and as a review of some of the actions that are critical to ensuring the accurate and effective application of the laws, regulations, policies, and instructions governing naturalization. The National Immigration and Naturalization Service Council has been consulted on this process.

The first section of the check list is the clerical processing review. Cases should be reviewed when the files have reached the pending interview stage. The review will encompass all processing from fee receipt to agency checks and file requests. For offices whose applications are clerically processed at a service center, this review should be conducted by the district office and the results communicated to the point of contact at the service center.

The second section of the check list is to be completed for all cases that have already been interviewed. This helps each office review the general results of the interview process.

One of the next three following sections will also be completed on all interviewed cases, depending on whether the case has been continued, granted and awaiting ceremony, or denied. The check list is designed to document whether the officer determined that the applicant meets the Section 312 requirements or statutory exemptions. Questions relating to good moral character also will be reviewed to ensure that, where necessary, documentation has been provided. Questions involving the applicant's willingness to take the full oath of allegiance or a modified oath will also be included in the review.

Each check list will be signed and dated by the officer or supervisor conducting the review, and a copy placed in each reviewed file. The original will be maintained at the local office. The reviewer should discuss the results of each review with district managers having responsibility for naturalization, including the Deputy District Director or Officer-in-Charge, to ensure that required corrective action is taken where the deficiency impacts or may impact the decision in an individual case, or to ensure that process changes are made when the deficiencies are systemic. The supervisor responsible for the review should compare current check lists with prior check lists every 3 months to identify recurring systemic problems; these also should be brought to the attention of the local managers responsible for naturalization processing.

The first review, for November, must be conducted by December 16, 1996 and will consist of the full number of cases from each of the four categories specified above. Thereafter, reviews will be performed each month on a schedule developed by each site and retained with the completed check lists. The schedule should minimize disruptions to processing. If an office prefers to sample cases every day or biweekly, this is acceptable as long as the full number of cases in each stage of processing are reviewed each month. Since these reviews are random, they should not include the same files at different stages. All reviews will be documented on the check lists.

For the first review, the Assistant District Director for Examinations or the Officer-in-Charge will complete and submit the original of the attestation (Attachment 9, "File Review Attestation"), along with copies of completed check lists to the Assistant Regional Director for Adjudications by December 19. The attestations should include remarks to indicate systemic problems identified and corrective actions taken.

The regions will review the attestations and the check lists to verify that all offices have complied. The regions, with the assistance of their Planning, Analysis, and Evaluation (ROPAE) staff, will then analyze the check lists, identify systemic problems. The attestations for the first review must be submitted to Headquarters Office of Internal Audit (HQOIA), attention Kathleen Stanley, by December 20, 1996. The regional analyses for the first review can be submitted to HQOIA by the tenth working day of January with the December analyses. Thereafter, the attestations and check lists will be forwarded to the regions by the fifth working day of each month for review and preparation of a summary, by district, of analysis and corrective actions taken. The regions will maintain copies of all check lists, and forward the attestations and summary to the Office of Internal Audit by the tenth working day of each month. The Office of Internal Audit, as an aspect of the INSpect program, will be responsible during this start-up period for reviewing each region's analysis and ensuring that problems, if any, are assigned to officials for correction.

The quality assurance program must become a part of the naturalization process, and reviews must occur on schedule. Each district must manage its resources in a way to allow the naturalization process, including the quality assurance program, to meet processing goals. If a district determines that this cannot be managed at the district level, the district must advise the regional office of the difficulties. Districts should quantify the impact of the quality assurance program on production and the resources necessary to perform reviews and achieve processing goals. Regions should review resources within their jurisdictions and redistribute as necessary.

Field Visits

In December a team headed by the Office of Internal Audit will be assembled consisting of a representative from the Headquarters Offices of Field Operations, Programs, Policy and Planning, each regional office, and, from each region, one Assistant District Director for Examinations, Officer-in-Charge, or Deputy District Director with a strong naturalization background from each region. The team will visit and review the quality assurance program and check lists from each of the five key Citizenship USA sites, and other offices as deemed necessary. Follow-up visits will be scheduled based on the findings of this review.

INSpect

INSpect is the process used by the Service to review field office operations. As part of this process, field managers will be provided guides for conducting self-assessments of their organizations. As these self-assessment tools are finalized for the Naturalization program, offices will be asked to conduct such self-assessments. These self assessments and the quality review program will be the foundation for naturalization sections of scheduled INSpect review.

Revocation Procedures

On November 21, a memorandum regarding further guidance of revocation procedures was sent to each office (Attachment 10). This memorandum includes the instruction that, in any case in which there is clear evidence of a disqualifying criminal conviction, revocation proceedings should be implemented immediately, even though you have been instructed not to move any files relating to FY96 naturalization cases.

Civics and English Testing

Requirements regarding outside testing entities (which conduct about 25 percent of the civics and written English testing for naturalization) have been tightened substantially since the beginning of this calendar year. The six recognized national organizations have been ordered to strengthen their monitoring and quality control plans, and INS oversight and investigation of the program has increased. In September of this year, the Service further strengthened the criteria under which the organizations operate. For example, the INS must approve the addition of any new affiliate, and the national organizations must submit monthly reports on monitoring, test scheduling, and testing results. More stringent requirements for the test administration were also imposed.

All testing organizations have monitoring plans in place and are required to conduct at least one inspection visit to each testing site per year. To augment this, the Service has retained the services of a contract inspection service, which will conduct approximately 80 testing site inspections by the end of this calendar year. We are also working on the award of a multi-year contract for inspection services.

From October 1995 to present, 47 local testing centers have been closed for cause by the national testing organizations, and eight centers are currently under suspension. One national testing organization, Naturalization Assistance Services, Inc., (NAS). NAS has been served with a Notice of Intent to Terminate its testing authority. NAS has invoked its right under INS regulations to seek reconsideration of the termination notice. INS is currently reviewing NAS' reconsideration papers and will reach a final decision on the termination shortly. Testing certifications from NAS will continue to be accepted until further notice. A wire regarding this issue is being sent under separate cover.

Transition Period

Effective immediately, no further interviews or oath ceremonies will be scheduled until this memorandum has been read, training has been conducted in these procedures, either locally or from Headquarters, and all procedures are in place and working.

A. Cases already scheduled for oath ceremony in December

Cases scheduled for oath ceremony will be compared to FBI data bases. For NACS offices the comparison will be done electronically, and a list of A-files will be provided by case control office. Non-NACS offices will access the FBI information through CIS. All offices will take the steps outlined below.

If a case has been processed as a NON-IDENT, proceed with the oath ceremony, annotating the work sheet with the seven digit code, to the extent possible.

If a case has been processed as an IDENT, the applicant must be removed from the oath ceremony until all charges have been properly resolved. To properly resolve a charge and grant an application, the file must contain the disposition of the charge, and a supervisor must have reviewed the entire record, including the disposition, and concurred with the grant. In all cases, the seven digit code must be noted on the work sheet.

If a case's FD-258 has been rejected, the applicant must be removed from the oath ceremony and may not be scheduled for oath until fingerprints have been processed by the FBI, and the results obtained and reviewed by INS. When the results are obtained, the seven digit code must be noted on the work sheet.

If there is no record that the FBI has processed an applicant's fingerprints, that applicant must be removed from the oath ceremony and may not be scheduled for oath until fingerprints have been obtained and processed by the FBI, and the results obtained and reviewed by INS. When the results are obtained, the seven digit code must be noted on the work sheet.

B. Cases already interviewed but not scheduled for oath ceremony in December, and cases scheduled for interview

Cases already scheduled for interview and cases already interviewed but not naturalized will have to undergo the steps outlined in this memorandum including:

1. Proper use of work sheets (Attachment 1 );

2. Fingerprint check integrity including: annotating the work sheet with the seven digit FBI result code all IDENTs being properly resolved and verified by a supervisor (see this section of memorandum beginning on page 2);

3. Supervisory review. as mandated in this memorandum;

4. Instructions regarding use of temporary files;

5. Performance of quality assurance review, if file is identified as part of a random sample.

C. Cases not yet scheduled for interview

Cases not yet scheduled for interview may not be scheduled for interview until all of the procedures in this memorandum are implemented at each site responsible for any aspect of that case's processing.

The attached charts will clarify these transition procedures (Attachments 11, 12 and 13).

D. Closeouts

As part of quality assurance procedures, all cases naturalized in October, November and December will be run against FBI tapes, and a post audit review will be conducted at the Nebraska Service Center by the Nebraska Review Team. Written confirmation that all cases have been closed in INS data bases for applicants naturalized in October are due in HQOPS, attention Mary Ellen McCarthy Elwood by December 13,1996. It is imperative that all cases naturalized through December be closed out in NACS and CIS immediately. Written confirmation stating that all cases for November and December have been closed must be submitted to HQOPS, Attention Mary Ellen McCarthy Elwood not later than December 31, 1996. If you experience any problems closing these cases, please contact OIRM immediately so that they can assist you in resolving these issues.

Conclusion

We believe that the policies and procedures described above will ensure a naturalization process that has integrity, backed up by a strong quality assurance program.

This quality assurance program will provide internal and external assurance of quality naturalization processing, will ensure consistency in case processing, and will assist field offices in broadly identifying processes that require improvement. The program under development by the Office of Programs will refine this process and further assist offices in accurately and effectively administering the laws and regulations governing naturalization.

If you have any questions, you may contact Tom Cook at (202) 514-5014.

Doris Meissner

Commissioner

Attachments

Attachment 1, N-400 Processing Work Sheet
Attachment 2, Aging Report memorandum dated 11/21/96
Attachment 3, Instructions for accessing FBI Status Report in CIS
Attachment 4, Sample of correct A number on FD-258
Attachment 5, Sample of correct A number on FD-258
Attachment 6, Temporary Suspension of File Movement memorandum dated. 11/21/96
Attachment 7, N400 Quality Assurance Check List
Attachment 8, Guidelines for Random Sampling
Attachment 9, File Review Attestation
Attachment 10, Revocation of Naturalization memorandum dated 11/21/96
Attachment 11, Transition Chart
Attachment 12, Transition Chart
Attachment 13, Transition Chart

[Editor’s Note: Attachments are available as Reprint No: 31-0197.]